Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
The Future of 12b-1 Fees
By Staff WriterOn July 21, 2010, the SEC voted to rescind Rule 12b-1 in its entirety and replace it with a new rule, Rule 12b-2. What does this...
October 01, 2010
Using OPM to Grow AUMAdvisory businesses deploy two types of leverage to accelerate their growth: operating leverage, which builds off infrastructure, technology, and other people's labor (OPL); and financial...
October 01, 2010
Ready to Grow AgainIn 2009, revenues dropped 9.5% and operating profit shrank seven percentage points to an 11% margin for the typical independent advisory firm, according to the...
October 01, 2010
Tom Bradley's Vision for the Future2010 marks the silver anniversary for Tom Bradley, the outspoken head of TD Ameritrade Institutional. Reflecting on his tenure with the company and the RIA...
October 01, 2010
Raymond James to Host Annual Women’s ConfabEducational sessions will focus on asset management, practice intelligence, insurance and annuities and information technology.
October 01, 2010
Wells Shifts Tax-Withholding on CommissionsWells Fargo says it has moved to resolve an issue affecting as many as 11,000 financial advisors who joined Wells Fargo Advisors after the bank...
October 01, 2010
Wirehouse Firms Still Lead in Assets, Data ShowThe four wirehouses continue to dominate the list of sponsors of separately managed accounts for the second quarter of this year, according to a research...
October 01, 2010
Baird Maintains Momentum with FA GrowthBaird recently hired nine financial advisors from Morgan Stanley Smith Barney in Charleston, S.C., and Fort Worth, Texas, with about $1.3 billion in total client...